Appendix 1


Appendix 1

Submissions

  1. Professor Jean Du Plessis and Associate Professor Anil Hargovan, Corporate Law Teachers Association 
  2. Associate Professor Gill North, Corporate Law Teachers Association
  3. Associate Professor Christopher Symes, Associate Professor Colin Anderson and Mr Jason Harris, Corporate Law Teachers Association
  4. Professor Paul Redmond, Corporate Law Teachers Association

Tabled Documents

  1. Opening Statement of Mr Greg Medcraft, Chairman, Australian Securities and Investments Commission
  2. Update on ASIC’s progress in implementing relevant recommendations of the Senate inquiry into the performance of ASIC
  3. Cognitive Task Analysis of financial advisers for the Australian Securities and Investments Commission
  4. Cognitive Task Analysis of financial advisers report summary
  5. Letter to Mr Medcraft from Industry Associations regarding ASIC's review of training standards
  6. Opening statement of Mr Greg Medcraft, Chairman, Australian Securities and Investments Commission provided on 20 March 2015.
  7. Opening statement of Mr Greg Medcraft, Chairman, Australian Securities and Investments Commission provided on 14 August 2015
  8. ASIC Strategic Framework Map, provided on 14 August 2015
  9. ASIC Regulatory Transformation - Capture Share Use, provided on 14 August 2015
  10. Opening statement of Mr Greg Medcraft, Chairman, Australian Securities and Investments Commission provided on 19 November 2015

Additional information received by the committee

  1. City Pacific background information provided by ASIC on 16 June, 2015
  2. Applications for Property Possession provided by APRA on 26 May, 2015
  3. ASIC response to the Parliamentary Joint Committee on Corporations and Financial Services in regard to its investigation of ASTARRA and TRIO Capital, provided on 19 June 2015
  4. ASIC response to the Parliamentary Joint Committee on Corporations and Financial Services in regard to the Financial Advisors Register, provided on 19 November 2015
  5. Answers to Questions on Notice: Presented to ASIC on 28 November 2014 and provided 30 January 2015.
  6. Answers to Questions on Notice: Presented to ASIC on 20 March 2015 and provided 30 April 2015.
  7. Answer to Questions on Notice, provided by ASIC and received on 13 May 2015.
  8. Answer to Questions on Notice, provided by ASIC and received 11 August 2015.
  9. Answer to Questions on Notice asked at a public hearing on 14 August 2015, received from ASIC on 20 August 2015.
  10. Answers to Questions on Notice asked at a public hearing on 14 August 2015, received from ASIC on 8 October 2015. 
  11. Answers to Questions on Notice asked at a public hearing on 14 August 2015, received from ASIC on 14 October 2015.
  12. Answer to Questions on Notice asked at a public hearing on 16 October 2015, received from ASIC on 18 November 2015.
  13. Answers to Questions on Notice asked at a public hearing on 19 November 2015, received from ASIC on 4 February 2016.
  14. Answers to Questions on Notice, provided by ASIC and received on 19 April 2016.

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